Sr. Manager, Legal & Compliance Technology

Who You'll Work With

We are seeking a Senior Manager, Legal & Compliance Technology to lead the team and technology portfolio that supports AB's Legal & Compliance, Internal Audit, and Risk functions. This role within Corporate Technology is responsible for the strategy, delivery, and ongoing operation of the platforms these control functions depend on every day — including our Electronic Communications Surveillance, Trade Surveillance, and AML/Customer Screening platforms, along with a broader portfolio of in-house developed applications and SaaS solutions.

You will lead a global team of technologists located in Nashville and Pune, India — and serve as the primary technology partner to senior functional business owners across Legal & Compliance, Audit, and Risk.  Beyond running the portfolio, you will be a change agent: this role is expected to drive Generative AI adoption within the functions we support, identifying opportunities to improve efficiency, reduce manual effort, and strengthen the firm's control environment.

This role sits at the intersection of technology, regulation, and the business — ideal for a leader who can translate regulatory and control requirements into pragmatic technology solutions, manage a mixed portfolio of in-house developed and vendor products and communicate with credibility from the analyst level to Senior Leadership.

What You'll Do

Team & Delivery Leadership

•  Lead, develop, and retain a global team of product owners, business analysts, technical analyst, and application support professionals located in Nashville and Pune, India, supporting the Legal & Compliance, Audit, and Risk technology portfolio
• Manage a workforce consisting of full-time employees and consultants: sourcing and onboarding consultant resources, setting clear accountability and quality expectations, managing consulting firm relationships and optimizing the employee/consultant mix against budget and delivery needs
• Foster a cohesive, high-performing culture across locations and time zones, with effective work allocation, and knowledge sharing between the Nashville and Pune teams
• Own end-to-end delivery across the portfolio: intake and prioritization, solution design, implementation, testing, release, and production support for both in-house developed applications and vendor SaaS platforms
• Establish and manage the technology roadmap for the portfolio in partnership with functional business owners and Corporate Technology leadership
• Instill strong engineering and operational discipline: SDLC standards, change management, incident response, and platform stability/resiliency for systems with regulatory significance

Platform & Vendor Management

•  Oversee the health, performance, and evolution of key platforms, including:
  • Electronic Communications Surveillance
  • Trade Surveillance
  • AML and Customer Screening
  • Supporting applications for Legal, Internal Audit, and Risk (e.g., DMS, Employee Compliance, Audit Management etc.)
• Own strategic vendor relationships as a core dimension of the role: contract negotiation and renewal strategy, SLA definition and enforcement, upgrade/release planning, issue escalation, performance scorecards, and influence over vendor product roadmaps
• Focus on on due diligence, third-party risk assessments, and ongoing oversight of SaaS providers supporting regulated functions
• Lead build-vs-buy evaluations and platform rationalization decisions; run RFPs and proofs of concept for new capabilities
• Ensure platforms meet the firm's information security, data governance, privacy, and records retention requirements, partnering with Information Security and Enterprise Architecture

Business Partnership & Stakeholder Management

• Serve as the senior technology point of contact for Legal & Compliance, Internal Audit, and Risk leadership; deeply understand their regulatory obligations, workflows, and pain points
• Face off with senior leadership across the business, Corporate Technology, and Global Technology and Operations — presenting portfolio strategy, delivery status, risks, and investment cases

Generative AI & Innovation

• Champion Generative AI adoption across Legal & Compliance, Audit, and Risk — identifying, prototyping, and scaling use cases that improve efficiency and effectiveness
• Partner with firmwide AI, data, and architecture teams to deliver AI solutions responsibly, ensuring appropriate governance, model risk management, explainability, and human oversight for use in control functions
• Continuously evaluate the vendor landscape (RegTech, surveillance, and AI-enabled tooling) and bring forward opportunities to modernize the portfolio

What We're Looking For

Required

• 10+ years of progressive technology experience, including 3–5+ years managing teams delivering and supporting business applications
• Experience leading globally distributed teams (onshore/offshore) and managing a blended workforce of employees and consultants, including consulting firm relationships
• Experience in financial services technology — asset management, banking, broker-dealer, or similar regulated environment
• Direct experience supporting Legal, Compliance, Risk, and/or Audit functions and their technology platforms; working knowledge of at least one of: communications surveillance, trade surveillance, or AML/sanctions screening platforms (e.g., NICE Actimize, SMARTS/Nasdaq, Global Relay, Smarsh, Behavox, Shield, Fircosoft, or comparable)
• Proven ability to manage a hybrid portfolio of in-house developed applications and vendor SaaS solutions
• Demonstrated strength in vendor management — contract negotiation, SLA management, vendor performance oversight, and third-party risk — with SaaS providers supporting regulated or control functions
• Track record of successful delivery: managing roadmaps, budgets, cross-functional projects, and production support for business-critical systems
• Executive presence and outstanding communication skills — able to influence and build trust with senior business and technology leadership
• Strong understanding of the regulatory landscape applicable to asset management (e.g., SEC/FINRA recordkeeping and supervision requirements, AML, market abuse surveillance expectations)
• Bachelor's degree in Computer Science, Information Systems, Engineering, Finance, or a related field, or equivalent practical experience

Preferred

• Hands-on familiarity with Generative AI / LLM technologies and experience delivering AI-enabled solutions in a governed enterprise environment
• Experience supporting regulatory exams and internal/external audits from a technology perspective
• Familiarity with modern data and cloud architectures (e.g., AWS/Azure, APIs, data pipelines) sufficient to guide solution design and challenge technical proposals
• Advanced degree (MBA, MS) or relevant certifications (e.g., PMP, CAMS, CISA)

About AB

As a leading global investment management firm, AB fosters diverse perspectives and embraces innovation to help our clients navigate the uncertainty of capital markets. Through high-quality research and diversified investment services, we serve institutions, individuals, and private wealth clients in major markets worldwide. Our ambition is simple: to be our clients’ most valued asset-management partner.

With over 4,400 employees across 51 locations in 25 countries, our people are our advantage. We foster a culture of intellectual curiosity and collaboration to create an environment where everyone can thrive and do their best work. Whether you're producing thought-provoking research, identifying compelling investment opportunities, infusing new technologies into our business, or providing thoughtful advice to clients, we’re looking for unique voices to help lead us forward. If you’re ready to challenge your limits and build your future, join us!

All are encouraged to apply. AB does not discriminate against any employee or applicant for employment on the basis of race, color, religion, creed, ancestry, national origin, sex, age, disability, marital status, citizenship status, sexual orientation, gender identity, military or veteran status or any other basis that is prohibited by applicable law.  AB’s policies and practices seek to ensure that employment opportunities are available to all employees and applicants based solely on job-related criteria.